Employvision Inc.
VP - Compliance testing (Regulatory D/O/W) (New York)
Employvision Inc., New York, New York, United States, 10261
Note: This is banking governance & broker-dealer regulatory auditor role and should have experience in Regulatory alphabets like Reg D, Reg W and Reg O.
About the Role As a Lead Auditor, you will be responsible for managing and executing compliance-focused audit engagements from planning through final reporting. You will evaluate risk, review control environments, lead audit teams, and ensure audit outcomes are delivered with accuracy, integrity, and timeliness. This role requires strong communication skills, stakeholder management, and leadership capabilities.
Key Responsibilities Lead end-to-end audits covering regulatory compliance functions Assess risks, validate controls, and review processes against regulatory expectations Ensure adherence to audit methodologies and quality standards Manage fieldwork, supervise audit teams, and coordinate with stakeholders Report identified control gaps and escalate significant issues appropriately Draft final audit reports and present findings to management Contribute to continuous improvement initiatives, audit planning, and compliance knowledge-sharing Support interactions with regulators or co-sourced audit resources
Requirements Education & Certifications Bachelors or Masters degree in Accounting, Finance, Business, Engineering, Economics, or related field Professional certifications (CIA, CPA, CFA) preferred Experience 610 years of experience in audit or relevant control functions Strong knowledge of banking or broker-dealer operations (Series 99 preferred)
Skills & Competencies Strong analytical, organizational, and project management skills Excellent communication and report-writing abilities Ability to lead teams and work cross-functionally High attention to detail, reliability, and ability to operate under pressure Fluency in English; French is a plus Knowledge of audit principles, regulatory standards, and internal control frameworks Familiarity with core banking IT systems/data analysis preferred
About the Role As a Lead Auditor, you will be responsible for managing and executing compliance-focused audit engagements from planning through final reporting. You will evaluate risk, review control environments, lead audit teams, and ensure audit outcomes are delivered with accuracy, integrity, and timeliness. This role requires strong communication skills, stakeholder management, and leadership capabilities.
Key Responsibilities Lead end-to-end audits covering regulatory compliance functions Assess risks, validate controls, and review processes against regulatory expectations Ensure adherence to audit methodologies and quality standards Manage fieldwork, supervise audit teams, and coordinate with stakeholders Report identified control gaps and escalate significant issues appropriately Draft final audit reports and present findings to management Contribute to continuous improvement initiatives, audit planning, and compliance knowledge-sharing Support interactions with regulators or co-sourced audit resources
Requirements Education & Certifications Bachelors or Masters degree in Accounting, Finance, Business, Engineering, Economics, or related field Professional certifications (CIA, CPA, CFA) preferred Experience 610 years of experience in audit or relevant control functions Strong knowledge of banking or broker-dealer operations (Series 99 preferred)
Skills & Competencies Strong analytical, organizational, and project management skills Excellent communication and report-writing abilities Ability to lead teams and work cross-functionally High attention to detail, reliability, and ability to operate under pressure Fluency in English; French is a plus Knowledge of audit principles, regulatory standards, and internal control frameworks Familiarity with core banking IT systems/data analysis preferred